		Home \| Jobs \| Fast Answers \| Site Map \| Search



	Division of Trading and Markets About the Division Broker-Dealers Banks and Other Depository Institutions Credit Rating Agencies Exchanges Over-the-Counter Markets ECNs/Alternative Trading Systems National Market System Municipal Markets Clearing Agencies Transfer Agents Additional Topics Frequently Requested Documents

Broker-Dealers

Broker-Dealer Registration Guide

Broker-Dealer Notices and Reports

Anti-Money Laundering Rulemaking

Arbitration

Breakpoints

Broker-Dealer Risk Office

Business Continuity Planning

Client Commission Practices

Disclosure of Order Execution and Order Routing Information

Foreign Broker-Dealers: Rule 15a-6

Issuer Repurchases: Rule 10b-18

Mini-Tender Offers: Broker-Dealer Guidance

Net Capital and Books & Records Guidance

Portals Roundtable: Relationships Between Broker-Dealers and Internet Web Sites

Regulation M

Regulations S-P and S-AM

Securities Analysts

Senior Investors

Short Sales

Tips for Broker-Dealers on Avoiding Failures to Deliver Securities (UPDATED 11/25/08)

http://www.sec.gov/divisions/marketreg/mrbdealers.shtml

Modified: 04/06/2010